Survey Pilot

[mr: (A detailed line or two on pilot surveys)]

GUIDELINES FOR SURVEY PILOTING

What is a survey pilot?

[mr: will add something on why it is important as well]

• A field test of the survey instrument and all survey protocols
• Piloting is not just about the questionnaire: test all protocols and learn about relevant logistics
• Piloting is done before Enumerator Training. It is not the same as the field practice all enumerators do at the end of Training!! It typically involves significant changes to the survey instrument and/or protocols – which should never be made after enumerator training!
• A complete survey pilot includes 3 stages (see Figure 1)

Figure 1: A Complete Survey Pilot Includes 3 Stages

Stage 1 - Pre-Pilot	Stage 2 - Content-focused Pilot	Stage 3 - Data-focused Pilot
Answer broad questions about survey design and context through qualitative interviews and focus group discussions	Refine overall order and structure, wording of specific questions, and translations. Check completeness of answer choice options, response variance, survey length.	Validate programming, export a sample dataset, check dataset structure and completeness, test all data quality checks
Early, printable draft, and/or qualitative instruments	A translated, printable, complete draft	A translated, programmed, final draft
Pen-and-Paper	Pen-and-Paper	Tablet/Phone-based

Are all 3 stages of piloting necessary for every survey?

All three stages of piloting are not necessarily required for every survey. If your survey is a brand new survey instrument, then it is necessary to start with Stage 1 - Pre-Pilot. If your survey is an adaptation of a well-designed questionnaire from a reliable source in the same country, then you may start the survey pilot with Stage 2 – Content focused pilot.

If your survey is an adaptation of a survey instrument from a previous data collection for the same project, and if significant revisions or additions have been made then start with Stage 2 – Content focused piloting. Otherwise in cases where you have not done any major changes to the adaptation, skip directly to Stage 3 i.e. Data-focused pilot.

Why do a pen-and-paper pilot for a CAPI survey?

Pen-and-paper pilots hold an advantage over CAPI surveys due to their flexibility in recording answers and qualitative observations. Pen-and-paper pilots are especially useful to:

• Record open-ended responses (critical for a pilot) more quickly / easily
• Draw lines and arrows between questions to suggest restructuring
• Record their observations and feedback in the margins
• Make notes of questionnaire wording or translation problems directly in the text

A good pilot will provide significant inputs to questionnaire design, and result in significant changes to content and structure. Changing programming is time-consuming and can create bugs (e.g. if order of questions shifts and all skip codes need to be re-programmed).

What is the timeline for a survey pilot?

• Piloting should start 4-6 months before survey launch. Indicative times are shown in Figure 2. This will vary depending on the complexity of the survey instruments. The earlier you start the better!
  • Remember: pilot needs to be done in time for final questionnaire to get ethical approval
• Pre-pilot happens before the questionnaire is translated to the local language(s). Good translation is time-consuming (for details see Guidelines for Questionnaire Translation). Making major changes after translation is costly and often leads to version control problems between different languages.

Figure 2: Fitting Piloting into the Overall Survey Timeline

Pre-Pilot	1-2 weeks
Questionnaire Design	4 weeks
Questionnaire Translation	2-3 weeks
Content-focused pilot (& revisions)	2-3 weeks
IRB approval	{context dependent, concurrent to programming & data pilot}
Questionnaire Programming	4-6 weeks
Data-focused Pilot	2-3 weeks
Enumerator Training	2 weeks

Beyond the questionnaire, what should be tested during the pilot?

• All Field Protocols should be tested in Stage 2 – Content-focused pilot. Revise as needed, and then pilot again during Stage 3 – Data-focused pilot. All protocols should be finalized before enumerator training.
• Interview scheduling
  • Is there a particular time of day when respondents are more / less likely to be available?
  • What is the most effective way to communicate with respondents and schedule appointments?
• What infrastructure will field teams have access to?
  • Electricity? If blackouts are frequent, are there generators (and fuel)?
  • Will there be any internet access?
  • How is the coverage of mobile phone networks?
• Does the sampling protocol work well in the field? (for more details on developing the protocol, see Guidelines for Impact Evaluation Sampling)
  • What challenges are enumerators likely to face? What clarifications need to be made?
  • If working from an existing sampling frame, is it up to date?
  • Is the replacement strategy effective?
  • If doing a listing, how much time should be built into the field plan? How will you ensure that no sampling units (e.g. households, firms, traders) are skipped?
• Geo-data: Will you use the tablet or separate GPS?
  • If GPS unit, test protocol for saving with filenames that include unique ID linked to respondent.
  • How long does it take to lock in a signal? How accurate is the data point?

Who should be involved in a survey pilot?

• Typically, questionnaire pilots are done before the survey firm is on board.
• DIME Field Coordinator plays a central role. Ideally other research team members will participate.
• Include staff from the relevant Government Ministry or implementing partner as much as feasible.
  • If they have experience with surveys, can conduct interviews. Usually best they accompany skilled interviewers and act as observers.
  • If not directly involved, always update them on revisions made as a result of the pilot

Pilot Participants and Characteristics

		Stage 1 - Pre-Pilot	Stage 2 - Content-focused Pilot	Stage 3 - Data-focused Pilot
Respondents	Never use any respondents in the final sample. Neighboring villages / schools / firms are good options.	Respondents should be as similar as possible to actual respondents. Include variations in age, gender, education, and income / socioeconomic status.	Test sampling protocol by using it to select respondents. Helps troubleshoot (e.g. find out sampling frame is outdated) and reduces bias in selection.	Test your sampling protocol, including any revisions based on previous piloting stage
Interviewers	Language	Fully fluent (read/write/ speak) in local language and language of research team	Fully fluent (speaking and reading) in local language and language of research team	Fully fluent (speaking) in the local language and language of research team
	Experience	Experience as qualitative enumerator Sectoral knowledge	Experience as quantitative enumerator Sectoral knowledge	Experience as quantitative enumerator Experience with tablets
	Background	Diversity in age / race / religion / gender / etc	Be mindful of (and learn about) cultural requirements (should women interview women? Can women interview men?)	Interviewer pool should reflect decisions regarding composition of final survey team, based on previous stage
	Size of Team	Very small (~2). Always accompanied by research team member.	Small (~2-4). Ideally each enumerator accompanied by research team member or other observer.	Larger (~4-8). The more interviews the better for debugging and data checks.
	Who?	Typically done before survey firm is on board, using local research assistants (STCs hired through the WB or a local PI), local government staff, or university students	Typically done before survey firm is on board, using local research assistants (STCs hired through the WB or a local PI), local government staff, or university students	Best case scenario: survey firm leads. Staff who will be field supervisors for the upcoming survey act as interviewers. They gain experience with the instrument, which also helps for enumerator training.
Research Team	Field Coordinator participates in all stages	PI should participate directly. If not possible, plan for daily debriefs and discussions.	Research Manager or Impact Evaluation Coordinator should participate directly.	Programmer participates directly (to adapt / debug in real time)

How to structure a survey pilot?

• Develop a clear protocol for each stage of the pilot and get research team approval
• Plan sufficient training time for interviewers!
  • Length depends completely on complexity of instrument and survey protocols. 1-day minimum
  • Interviewers must be familiar with the instrument and the objectives of the pilot by the end
  • Interviewers will have useful insights and feedback on the survey instrument at the training itself. Plan time to incorporate their feedback/ make revisions before starting the actual pilot
  • Build in a minimum of 1 day between training and the start of the piloting
  • For data-focused pilots, essential to have interviewers do mock interviews with each other to familiarize themselves with programming, and catch any bugs missed in office tests.
• Check what approvals are needed. Sometimes local IRB approval is required even for a pilot.
  • A letter of support from the relevant Ministry or implementing partner always helps.
• Plan time for group feedback and discussion sessions at the end of each day.
• Plan sufficient time to make revisions each evening, and pilot again the next day
  • If logistically feasible, best to pilot every other day (otherwise all-nighters are common)
  • For pen-and-paper pilots, make sure you will have access to a printer to make and share revisions in real time.
    • Depending on context, using research budget to purchase a printer the FC can travel with may be necessary/ cost-effective.
  • Be aware of the need for careful version control: If the survey is in a language the FC doesn't understand, it can be tricky to keep track of daily changes in both local language and English version.
  • Best to work with an assistant who speaks the local language to make the edits in that version of the survey while the FC makes them in the English version.
    • Ideally this is someone other than an enumerator (they should go rest so they're fresh for the pilot on the following day, and end of the day edits can go well into the night if piloting needs to happen the next morning)
  • Where logistically possible, piloting every other day is a better plan
• Pilot until there are no more substantial changes to be made. Field plan will depend on:
  • Extent of changes to be made
  • Availability of printing facilities (if paper pilot) in the area where you are piloting.
  • Where the pilot location is (if far from home-base, and teams are staying in the area, breaking for a full day may not be practical / cost-effective)
• If you will be ‘pre-loading’ data during the survey (e.g. from a baseline survey), you will need to simulate this during the pilot.
  • If you have reduced the sample size from previous rounds, you can use non-sampled households for whom baseline data exists.
  • Otherwise you may need to do ‘pre-interviews’ one day ahead to collect basic indicators for pre-loading. This is logistically challenging, but very worthwhile!
• Ideally the survey firm will participate in the data-focused pilot. This has to be clearly specified in the Terms of Reference (for more details see Guidelines on Survey Firm Procurement). Important points:
  • Timeline includes a few days’ pause between the end of the piloting and enumerator training, to incorporate any all final revisions
  • Distinguish between the data-focused pilot and the field practice during enumerator trainings.
  • Make sure the timeline for the piloting is clear from first discussions.

Tips and Reminders

• Throughout the questionnaire design process, and discussion with the research team, take notes of what needs to be piloted
  • Are there multiple ways of asking questions that should be tested?
  • Should you learn more about how people think to see what flow makes sense?
    • For example, do people think about their input use at plot-level? by crop? overall?
  • Have any questions been flagged as likely sensitive?
• Encourage interviewers to probe and follow-up much more than they would in a typical interview
• Encourage respondents to think out-loud, to understand how they are coming up with their answer.
  • In some cultures, appropriate to ask respondents their feedback at the end of the interview
• Aim to finish fieldwork early, to have time to debrief
  • You will get better feedback if the team is not exhausted / hungry!
  • Make sure all voices heard at feedback sessions (especially if age/ gender/ ethnicity differences)
• Take careful notes during the pilot, the discussions and clarifications will be important to include in the enumerator manual and to discuss at training
• You will get valuable feedback by observing pilot interviews even if you don’t speak the local language.
  • Bring a copy of the questionnaire in English, with the same question numbers / variable labels, so that you can follow along with the interview.
  • Focus on observing the respondent and the enumerator. It may be a good idea to ask the enumerator to explain if a significant discussion starts over any particular question (depends on the timing, if already a long interview may not want to make it longer, and on how confident you are that the interviewer will be able to report back later the substance of the discussion)
• Consider obtaining IRB approval before the pilot (when an IRB is needed)
  • When you are developing new instruments, there are some opportunities for publication even at the piloting level. The PIs will know when this is a possibility. This requires further planning but it can be well worth it.
• Do a data-focused pilot for your backcheck questionnaire
• Hiring a local "mobilizer" to coordinate with respondents can facilitate piloting, particularly in urban areas or settings in which people are particularly busy. They explain the purpose of the survey and get consent, reducing down time between surveys. (though do note this may not be consistent with piloting sampling protocols)

CHECKLISTS FOR FIELD COORDINATORS

Field coordinators can also use the Preparing for the Survey and Refining the Questionnaire checklists to make sure you have not forgotten anything during a survey pilot.